DEFENSE LOGISTICS AGENCY HEADQUARTERS 8725 JOHN J. KINGMAN ROAD FORT BELVOIR, VIRGINIA IN REPLY REFER TO February 21, 20 13

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1 DEFENSE LOGISTICS AGENCY HEADQUARTERS 8725 JOHN J. KINGMAN ROAD FORT BELVOIR, VIRGINIA IN REPLY REFER TO February 21, MEMORANDUM FOR SUPPLY PROCESS REVIEW COMMITTEE (PRC) MEMBERS SUBJECT: Approved Defense Logistics Management System (DLMS) Change (ADC) 1030, Implementation of Item Unique Identification (IUID) in the DLMS Shipment Status Supporting DOD IUID Supply Procedures and Associated Supply Discrepancy Report (SDR) Procedures (Supply/SDR) The attached change to Defense Logistics Manual (DLM) , Defense Logistics Management System (DLMS) is approved for phased/staggered implementation no later than Supply PRC members are required to actively monitor for implementation of this ADC and provide implementation dates when they become available. The updated DLMS Supplement will be posted to the DLA Logistics Management Standards Office Web at asp within 10 days from the above date. Addressees may direct questions to Ms. Ellen Hilert, DOD MILSTRIP Administrator, or DSN , or Ms. Heidi Daverede, DOD MILS TRIP Alternate, ; DSN , Others must contact their Component designated Supply PRC representative. Attachment cc: ODASD(SCI) SDR Committee IUID Working Group Joint Small Arms/Light Weapons Coordinating Group DONALD C. PIPP Director DLA Logistics Management Standards Office Federal Recycling Program G Printed on Recycled Paper

2 ATTACHMENT TO ADC 1030 Implementation of DOD Item Unique Identification (IUID) Supply Policy in DLMS Shipment Status and Associated Supply Discrepancy Report (SDR) Procedures 1. ORIGINATING SERVICE/AGENCY AND POC INFORMATION: DLA Logistics Management Standards Office, or 2. FUNCTIONAL AREA/PROCESSES: 3. REFERENCES: a. DOD Instruction , DOD Supply Chain Materiel Management Policy, December 14, 2011 b. DOD Regulation R, DOD Supply Chain Materiel Management Regulation, May 23, 2003 c. DOD Manual M, DOD Supply Chain Materiel Management Manual (Draft) d. DLM , Defense Logistics Management System, Volume 2, available at e. ADC 399, Automated Data Capture for Serialized Item Shipments and Preparation of the Issue Release/Receipt Document (IRRD) (DD Form A or DD Form ) Continuation Page, dated March 18, 2011 f. Approved Addendum to ADC 399A, Automated Data Capture for Serialized Item Shipments and Preparation of the Issue Release/Receipt Document (IRRD) (DD Form A or DD Form ) Continuation Page, dated January 30, 2013 g. ADC 417, Shipment Status for Local Delivery Manifested, Outbound MILS Shipments on Behalf of On-Base Customers, Re-Warehousing Actions between Distribution Depots, and non-mils Shipments to Off-Base Customers, with Passive Radio Frequency Identification (prfid), dated April 26, 2011 h. DOD Instruction , Item Unique Identification (IUID) Standards for Tangible Personal Property (Draft) i. AR 702 7/AFR 74 6/SECNAVINST A/DLAR , Product Quality Deficiency Report Program, available from the DLA PQDR Home Page. ADC 1030 Attachment Page 1

3 4. APPROVED CHANGES(S): a. Brief Overview of Change: This document is the first in a series of DLMS change proposals to define procedures and establish a coordinated implementation of IUID in accordance with DOD IUID Supply Policy. Revisions subsequent to staffing of the proposed DLMS change are highlighted. (1) This change identifies procedures for the activity providing shipment status to incorporate available IUID content when the National Stock Number (NSN) has an IUID Indicator Y (Yes) and the DLMS 856S Shipment Status is generated in support of DOD IUID Supply Policy. (2) This change identifies procedures for the receiving activity to submit an SDR identifying a mismatch between the shipment status and the UII and/or serial number for the materiel received. (3) This change requires that shipments containing IUID content and requiring more than one freight piece to execute the movement must have a unique Transportation Control Numbers (TCN) assigned to each freight piece by using a partial indicator in the 16 th position of the TCN. Multiple freight piece shipments using the same TCN for all related freight pieces are not authorized when IUID content is required. (4) This change does not affect the procedures for items managed under existing UIT programs or other programs (existing or proposed) to intensively manage materiel except to allow for the inclusion of the UII and/or serial number in the DLMS transaction. (5) Several administrative changes are included to update the DLMS Supplement to remove unused placeholders for IUID related data elements including the component pieces of a constructed UII, and to update terminology. b. Background: DOD policy is that the Components use the UII to enhance life-cycle management of assets and provide more accurate asset valuation, to achieve unqualified audit opinions on the Property, Plant and Equipment and Operating Materials and Supplies Portions of DOD Financial Statements. The UII will serve as a common key in financial, property accountability, acquisition, supply, maintenance and logistics systems. 1 (1) For an NSN to be managed under the DOD IUID Supply Policy, the item must be in at least one of the following categories: DOD serially-managed sensitive, DOD serially-managed critical safety, and/or DOD serially-managed pilferable items, All depot-level reparable items, or Items the materiel manager/program manager identifies as requiring unique item level traceability. 1 Reference 3.h. ADC 1030 Attachment Page 2

4 (2) The manager of the item, in consultation with its users, determines the requirement for unique item level traceability. (3) The Federal Logistics Information System (FLIS) will be updated to support a new data field to identify the IUID Indicator. This new data element is a yes/no indicator to provide enterprise-wide visibility of IUID applicability for NSN items. Pending FLIS modernization the IUID Indicator will be made available thru web-services using the Master Data Capability. (4) IUID benefits the transportation node of the DOD supply chain in a key way. 2 While transportation will not carry IUID in its transportation transactions, visibility of UIIs will be available in enterprise tracking systems (e.g., Integrated Data Environment (IDE) / Global Transportation Network (GTN) Convergence (IGC)), by maintaining referential integrity between the document number and its TCN. To simplify order tracking once one or more shipments are made to satisfy a requisition, all shipments, regardless of origin or destination, will be assigned a shipment Transportation Control Number (TCN) that is linked to the requisition. As shipments move through the transportation nodes and undergo consolidation or deconsolidation actions, the integrity of the TCN-to-requisition relationship documented in the supply shipment status is maintained. To facilitate customer follow-up with commercial carriers, supply sources using DLMS will provide carrier identification and the carrier tracking number. The DLMS 856S (and 856R) will identify the UIIs associated with a document number and the TCN under which the document number shipped. The transportation node will continue to transact business at the TCN level. TCN tracking while in transit can be associated back to UIIs through the use of the DLMS 856S Shipment Status. Rather than being the primary link, the UII is a byproduct of the link between the document number and the TCN. (5) For items managed under an approved Unique Item Tracking (UIT) program, 3 the UII (when available) and the serial number are mandatory in the DLMS 856S Shipment Status transaction. Serial number without the applicable UII may only be used during MILSTRIP/DLMS transition and pending implementation of IUID capability. (6) During the September 25, 2012 DOD IUID Working Group meeting, members agreed to proceed with the first step in establishing procedures for addition of the IUID content into the DLMS 856S Shipment Status and the DLMS 842A/W Supply Discrepancy Report (SDR), Follow-up, Correction, Cancellation, & Reconsideration Request. c. Approved Change in Detail: This ADC focuses on default standard processing when the IUID Indicator is Y. This change directs activities providing DLMS 856S Shipment Status transactions to include the UII and/or machine readable serial number (hereafter referred to as serial number unless specifically noted) when available, on outbound shipment notices where applicable. 4 The scope includes materiel shipped under MILSTRIP business rules, as well as non-milstrip shipments documented on a DD 1149, Requisition and Invoice/Shipping Document, when DLMS Shipment Status is provided. Under this change, the shipment status transaction provides notification of the shipment including specific item identification, quantity, 2 Ibid 3 Reference 3.d., Chapter 19, Unique Item Tracking 4 Machine readable is specifically noted as the minimum requirement because of the labor intensive effort and accuracy concerns with hand typing multiple serial numbers in the status transactions. ADC 1030 Attachment Page 3

5 the associated UII(s) and corresponding serial numbers when required in support of DOD IUID Supply Policy. Since DLMS transactions do not support the passing of multiple level parent/child configuration for IUID items, any changes in child configuration of IUID items made by the owner, must be updated in the IUID registry prior to the transfer of the item. This ADC also provides enhanced procedures for inclusion of the UII and/or serial number for the following: Intensive management under DOD IUID Supply Policy based on item being managed under approved UIT programs is provided and will be enhanced as the IUID program matures. Under DOD IUID Supply Policy, no new UIT programs will be approved. SDR generation/processing for mismatches with IUID data between the shipment status and actual receipt. (1) Overall Process Description: For tracking materiel across the DOD enterprise, the initial shipping activity is required to include the UII and/or machine readable serial number, in the shipment status transaction for NSNs subject to the DOD IUID Supply Policy (containing the IUID Indicator Y). Receiving activities will prepare SDRs to report supply-related IUID discrepancies involving mismatched content between the shipment status and the item or its packaging or missing IUID content under UIT program requirements. SDRs will identify the specific discrepant IUID data in the SDR transaction based upon SDR guidance, availability, and level of automation. When identified, quality-related deficiencies involving IUID, e.g. an improperly constructed UII within the 2D data matrix, will be reported under Product Quality Deficiency Report (PQDR) procedures (Reference 3.i). (2) UII on Shipment Transactions: For NSNs with an IUID Indicator Y, the DLMS 856S Shipment Status will carry the UII and/or the machine readable serial number, when available, at the time of shipment; include both when both are available. The UII and/or serial number is a desired entry but is not mandatory at this time. The long-term end state goal is to eliminate reliance on serial number and only pass the UII when the IUID Indicator is Y. Table 1 shows the decision matrix that applies to scenarios where the UII and/or serial number may not be available when the item is being shipped. The overriding vision is that, pending full transition to the DOD IUID Supply Policy using the UII, processing of outgoing shipments does not stop due to lack of a viable UII and/or serial number when the NSN contains a IUID Indicator Y. 5 5 Separate procedures apply to address when new procurement items are received by the storage activity and do not contain a UII when required by contract. ADC 1030 Attachment Page 4

6 Table 1. IUID Indicator Y Shipment Decision Matrix UII Serial Number Approved UIT Machine Readable Serial Number Release Shipment? Y Y N Y Y Y N N N Y N Y N Y Y N N N N Y Y Y Y Y Y Y N Y N N N Y Y Y Y N Y Y N N N N Y N N Note: N (No) in the Release Shipment column indicates additional research is required by the shipping activity to identify a valid UII and/or serial number or to hand type the serial number data when required for UIT items. (3) SDRs for Discrepancies Involving Mismatched/Missing IUID Content on Shipment Status (a) During the receipt of NSNs with an IUID Indicator Y, receiving activities may prepare SDRs identifying a mismatch between the DLMS shipment status and the UII for the materiel received. Existing procedures require reporting of mismatches between the UII for the materiel received and the advance shipment notice provided by Wide Area Workflow (WAWF) for new procurement materiel requiring IUID under terms of the contract. Additionally, mismatches in IUID data (based upon serial number and UII when available) must be reported under approved UIT programs. In this context, a mismatch means that the IUID data in the shipping information data does not match the item or its packaging. Pending full transition to the DOD IUID Supply Policy using UII, where UII is not available and only the serial number is provided on the shipment status, SDRs are not required solely due to mismatch to the shipment status and no other factors. Where automation is available at the receiving activity to support electronic capture of IUID data and perpetuation to the SDR, SDRs for mismatch to the shipment status will be prepared citing both UII and corresponding serial number, when both are available. Pending integrated capability to support IUID reporting in SDRs, remarks text may also be used to clarify the specific mismatched data. Additionally, attachment files may be uploaded/transmitted to DOD WebSDR to identify UIIs and/or serial numbers. (b) Pending full implementation of the DOD IUID Supply Policy, do not use SDRs to report missing IUID content on shipment status, items, or packaging originating from a Distribution Depot or other DOD shipping activity. The exception is items managed under an existing UIT program for intensively managed materiel. (c) SDRs prepared for a mismatch with no discrepancy in quantity received should include the UII and/or serial number identifying the mismatch. That is, identify the UII and/or serial number for item(s) received that do not correspond to the shipment status, as well as the UII and/or serial number for the expected item(s) NOT received. The SDR transaction is modified to include a new indicator to distinguish UIIs and/or serial numbers reported as received or not received. If no indicator is provided the UII and/or serial number will be interpreted as applicable to the materiel received. Cite Discrepancy Code U09, Mismatch ADC 1030 Attachment Page 5

7 between unique identification data on item or packaging and the associated due-in or shipping notice. (d) SDRs prepared for a shortage of items identified by IUID Indicator Y should include the UII and/or serial number for the item(s) NOT received based upon comparison with the shipment status. Cite the applicable discrepancy code for the shortage and Discrepancy Code U09. (e) SDRs prepared for an overage of items identified by IUID Indicator Y should include the UII and/or serial number for the extra item(s) received based upon comparison with the shipment status. Cite the applicable discrepancy code for the overage and Discrepancy Code U09. (f) SDRs prepared for receipt of an incorrect item where the item received is identified by an NSN with an IUID Indicator Y should include the UII and/or serial number for the wrong item. Cite the applicable discrepancy code for the incorrect item receipt and Discrepancy Code U09. (g) This PDC does not alter existing business rules for distribution of SDRs based upon factors including shipping activity, type of shipment, and ICP directing shipment. This PDC does not alter existing business rules for IUID discrepancies applicable to new procurement materiel. (h) Table 2 provides a decision matrix that shows when an SDR is required based on mismatched or missing IUID data during receipt processing. ADC 1030 Attachment Page 6

8 New Procurement (IUID contractually required) Table 2. SDR Decision Matrix: Discrepant IUID Data (IUID Indicator Y) Approved UIT Wrong Item Received w/iuid Indicator Y Missing UII on item or packaging Mismatch UII with shortage/ overage Mismatch UII no shortage/ overage Create SDR SDR Action Code 6 Y Y/N N N Y N Y 1A or 2A Y Y/N N N N Y Y 1A Y Y/N N Y N N Y 1A Y Y/N N N N Y Y 1A Y Y/N N Y N N Y 1A Y/N Y/N Y Y/N Y/N Y/N Y 1A or 2A N N N N N Y Y 3B N N N N Y N Y 1A or 2A N N N Y N N N No SDR N Y N N N Y Y 1A N Y N N Y N Y 1A or 2A N Y N Y N N Y 1A or 3B (4) Issue Release/Receipt Document: Shipping activities will prepare the Issue Release/Receipt Document (IRRD), when applicable, in accordance with DLM , MILSTRIP Manual, Chapter 5 and Appendices 1.35, 1.36, 3.48 and Provide the UII(s) and/or serial number(s) of the items shipped using Automated Information Technology (AIT). The previously cited MILSTRIP references define procedures for the IRRD continuation page for shipment quantities of two or more serialized items and how the PDF417 symbol or Macro PDF417 symbols are used to include the IUID data. The term Macro PDF417 is used when concatenating multiple PDF417 barcodes. The continuation page contains linear bar coding with the included serial numbers to satisfy legacy system requirements and enables users to obtain the serial number if the Macro PDF417 data cannot be read. ADC 399A (Reference 3.f.) revised encoding procedures to support association of the serial number used for tracking and the applicable UII in the 2D bar code. (5) Due In Record: Receiving activities will use the UIIs and/or serial numbers in the shipment status to append to the Prepositioned Materiel Receipt (PMR) if available or establish a means of accessing the UII and/or serial number information from the 856S Shipment Status during the receiving process. This information will be used to verify the UIIs actually received. Receiving activities will follow the supply discrepancy reporting procedures to report mismatches as appropriate. 6 SDR Action Codes are selected by the submitter based upon the desired response to the SDR. Codes identified in Table 2 are: 1A Disposition instructions for discrepant materiel requested; financial action not applicable. 2A Disposition of materiel and financial adjustment (credit) requested. 3B Discrepancy reported for corrective action and trend analysis; no reply required. ADC 1030 Attachment Page 7

9 (6) Scenarios for Including the UII with Shipment Status (a) Shipment Status Subsequent to a Material Release Order (MRO): Initial shipment status is normally prepared by the storage site on behalf of the materiel owner. When the material is shipped, the shipping activity will prepare and transmit a DLMS 856S Shipment Status with UII(s), and corresponding serial numbers, under DOD IUID Supply Policy requirements to DLA Transaction Services. The Defense Automatic Addressing System (DAAS) will route the shipment status to the designated status recipients per standard MILSTRIP distribution rules, and to any additional parties identified in the transaction. (b) Shipment Status Subsequent to a Redistribution Order (RDO): Initial shipment status is normally prepared by the storage site. When materiel is shipped, the shipping activity will prepare and transmit the DLMS 856S Shipment Status to the designated receiving activity including UII, and corresponding serial numbers, under DOD IUID Supply Policy requirements. (c) Shipment Status Subsequent to a Direct Vendor Delivery (DVD): The source of supply is responsible for providing shipment status for materiel shipped directly by the vendor to the customer. Under this scenario, the source of supply will NOT provide IUID content or serial numbers on the DLMS 856S Shipment Status. It is anticipated that the receiving activity will be fully DLMS compliant and will receive a copy of the WAWF Advance Shipment Notice (856) containing IUID data content. There is no requirement for redundant transmission of IUID data to the receiving activity. (d) Shipment Status Subsequent to a Lateral Redistribution Order (LRO) with Distribution Code 2 or 3: This LRO is a request by the manager to redistribute retail stock identified through retail level reporting or access to a retail asset visibility system. 1. In response to the LRO, the shipping activity will prepare and transmit the DLMS 856S Shipment Status (Document Identifier Code (DIC) AS6) to the originator of the LRO. The shipping activity will include: IUID content, Distribution Code 2 or 3, as applicable, and Separate identification of the Ship To activity by DoDAAC at (2/N101/2200 = ST). 2. When the LRO shipment status (DLMS 856S (DIC AS6)) contains IUID content, DLA Transaction Services mapping will be used to prepare a DLMS 856S to perpetuate the IUID content to the ship-to activity. DLA Transaction Services, at a minimum, will indicate the following: DIC AS1 if the ship-to activity is the requisitioner. If the ship-to activity is not the requisitioner, then indicate DIC AS2. The ship-to will be perpetuated from the DLMS 856S (DIC AS6). ADC 1030 Attachment Page 8

10 The RIC To from the DLMS 856S (DIC AS6) becomes the RIC From in the DLMS 856S (DIC AS1/2) (indicating that the shipment status is provided on behalf of the manager). The Signal Code B used in the LRO shipment status will not be perpetuated to the DLMS 856S (DIC AS1/2). The distribution code (e.g., 2 or 3) will be perpetuated in the DLMS 856S (DIC AS1/2). The UIIs and/or serial numbers will be perpetuated to the DLMS 856S (DIC AS1/2). The Supplemental Data field will not be perpetuated to the DLMS 856S (DIC AS1/2). 3. Upon receipt of the DLMS 856S (DIC AS6), the manager will then generate the DLMS 856S (DIC AS8), without UIIs and with the distribution code from the original requisition and send to DLA Transaction Services who will route it to status recipients under MILSTRIP distribution rules and to any additional parties as identified in the transaction. 4. The customer supply system must ensure that the shipment status provided by the manager without UIIs does not overlay the LRO shipping activity's shipment status with UIIs. The Distribution Code 2 or 3 may be used to recognize the LRO shipping activity shipment status. (e) Shipment Status Subsequent to a Disposal Release Order (DRO): In response to directed release of property to a DLA Disposition Services Field Office, under DOD IUID Supply Policy, the shipping activity will provide shipment status including UII, and corresponding serial numbers. (f) Shipment Status in Response to a Follow-Up: The ICP will follow the current MILSTRIP procedure to prepare the status transaction based on the Materiel Release Confirmation (MRC) (DLMS 945A), which will not include UII and/or serial number information at this time. Staffing Note: We recognize this gap and a future DLMS enhancement may be required if the gap for IUID content on the shipment status provided in response to a follow-up is unacceptable to the Components. A significant systems change would be required to direct the follow-up to the shipping activity vice the ICP to retransmit the original shipment status with UIIs and corresponding serial numbers under the DoD IUID Supply Policy requirements. In the future, it is anticipated that items being intensively managed under DOD IUID Supply Policy procedures will carry the UII and/or serial number in the MRC; thus making it available for inclusion in the DLMS 856S Shipment Status in response to a follow-up. (g) Shipment Status Prepared by Consolidation and Containerization Point (CCP) or Other Locations Performing Consolidation: When the CCP or other location performing consolidation prepares the shipment status, it will include the UII and/or serial number based on DOD IUID Supply Policy. CCP eligibility will not be altered based on the requirement to include the IUID data. ADC 1030 Attachment Page 9

11 (h) Multiple Freight Pieces: For a shipment containing IUID content and shipped in multiple freight pieces, shippers are NOT authorized to execute the movement of the shipment using multiple freight piece procedures (e.g., citing the same TCN for all boxes). Those shipments must be partialled by using the 16 th position of the TCN to uniquely identify each freight piece. A separate DLMS 856S Shipment Status will be transmitted for each document number partial TCN pair, identifying the contents of each freight piece, to include prfid tag(s) and UII(s) and/or serial numbers. Staffing Note: Request United States Transportation Command/DTR Administrator consider a change to the DTR R that no longer authorizes traffic management officers to create multi-freight piece shipments. While it served as an efficient tool many years ago, with the increasing emphasis of in-the-box visibility of items down to the UII, it is losing its efficiency. The overall supply chain would have better control visibility if in these situations, the TCN were partialled in record position 16. (i) Non-MILSTRIP Shipments Documented on a DD 1149: When the shipping activity is requested to ship materiel documented by a DD 1149, Requisition and Invoice/Shipping Document, ADC 417 modified the DLMS 856S Shipment Status to enable the generation of a shipment status for these shipments. 1. The first HL loop is allocated to addressing and the second HL loop is allocated to the shipment. If there is prfid at the carton level, it will be passed in the third HL loop, which will be a pack loop. 2. To identify the UIIs and/or serial numbers, use separate HL item loops to identify the UII and/or serial number information. If there is prfid at the item level, the prfid tag information will be passed in a REF segment within the applicable item loop to which it applies. A separate HL item loop will be generated for each item. If there is a pack loop, then the item loop will identify the associated pack loop as its parent in the HL02; if there are no pack loops, then there will be no HL02. d. Revisions to DLM Manuals: (1) Refer to Enclosure 1 for the detailed changes to the DLMS 856S Shipment Status and DLMS 842A/W SDR. (2) Refer to Enclosure 2 for revisions to the DLM , DLMS, Volume 2 Chapter 5 to reflect updates to the business rules for the processes addressed by this PDC. Changes to the DLMS manual are identified in the enclosure by red, bold italics. (3) Refer to Enclosure 3 for revisions to DLM , DLMS, Volume 2, Chapter 17, Supply Discrepancy Reporting, and Appendix 3, Supply Discrepancy Report Relevant Data Elements, to reflect updates to the Shipping Packaging and Storage Discrepancy Code (commonly referred to as Discrepancy Code). Changes to the DLMS manual are identified in the enclosure by red, bold italics. e. Transaction Flows: No changes to transaction flow are required, except as specifically identified for LROs. ADC 1030 Attachment Page 10

12 f. Alternatives: None identified, except as shown above for shipment status in response to a follow-up. 5. REASON FOR CHANGE: Supports the implementation of the DOD IUID Supply Policy. This change documents how the UII requirements will be implemented within the DLMS 856S Shipment Status transaction and 842A/W SDR. 6. ADVANTAGES AND DISADVANTAGES: a. Advantages: Providing the UII in the shipment status enables traceability of a UII to a physical location, as an item is issued and travels through the supply chain to the end user or other ultimate destination. This change enables the ability to notify downstream customers to whom items are being transported. This change allows the DLMS 856S Shipment Status to be used for transfer of government furnished property under a contract where the DOD IUID Supply Policy applies. b. Disadvantages: None identified. 7. ASSUMPTIONS USED OR WILL BE USED IN THE CHANGE OR NEW DEVELOPMENT: a. Users of this change have fully implemented the DLMS transaction capability in their business application. b. The IUID Indicator will be available in the DLA Logistics Information System Master Data Capability (MDC) by April 2013 and in 2017, the reengineered FLIS will incorporate the IUID Indicator. This will require Components to initially modify systems to access the IUID Indicator in the MDC after April 2013, and later obtain the IUID Indicator through a standard cataloging interface when the redesigned FLIS is operational. c. Designated ship-to activities will be WAWF compliant and will be registered to receive the WAWF ASN for new procurement items. d. This ADC changes the policy currently in place for UIT by formalizing the inclusion of the UII in the shipment status. 8. ADDITIONAL FUNCTIONAL REQUIREMENTS: It is possible to expand the available information contained in the IUID loop in association with the UII and serial number, so that more information about a particular item can be communicated. During review of this PDC, Services/Agencies were asked to consider this opportunity to formally add the batch/lot number to the information within the loop as a mechanism to tie together specific items with their associated batch/lot number when this would be appropriate operationally. This would supplement the capability to identify the batch/lot number(s) applicable to the shipment independent of the specific item identification. The capability is currently identified in the DLMS 856S as a DLMS enhancement. ADC 399A (see Reference 3.f.) authorized a comparable capability to include the batch/lot numbers in the envelope used to retain a relationship between a UII and its associated serial number in the bar coded data provided for serialized item ADC 1030 Attachment Page 11

13 shipments on the Issue Release/Receipt Document (IRRD) (DD Form A or DD Form ). 9. ESTIMATED TIME LINE/IMPLEMENTATION TARGET: Staggered implementation is authorized. Implementation may begin as early as July 2013; full implementation is targeted for December ESTIMATED SAVINGS/COST AVOIDANCE ASSOCIATED WITH IMPLEMENTATION OF THIS CHANGE: Not available. 11. IMPACT: a. New DLMS Data Elements: Add IUID Received/Not Received Indicator for use in the SDR transaction. This is a one position indicator to distinguish IUID content provided in the SDR as applicable to items received or items not received. This indicator is required when providing both UIIs and/or serial numbers associated with a mismatch between the expected/intended item(s) and the item(s) actually received. Code values are R-Received and N- Not Received. b. Changes to DLMS Data Elements: (1) Specific data elements are to be removed from the DLMS 856S Shipment Status and 842 A/W SDR transaction, as shown in Enclosure 1. (2) Revise the narrative explanation associated with Shipping Packaging and Storage Discrepancy Code as follows: U08 U09 Mismatch between unique identification data on item or packaging marks/labels and the associated shipping documentation Mismatch between unique identification data on item or packaging marks/labels and the associated due-in/ or shipping notice c. Component Automated Information Systems: (1) Shipment Status Processing a. Component automated information systems for shipping, shipment consolidation, and receiving need modification to ensure the IUID content is always included in the 856S Shipment Status transaction when applicable and required under DOD IUID Supply Policy. b. Initial shipping activities, to include co-located DLA CCPs acting as the initial shipping activity, will always be required to include IUID content when the IUID Indicator is Y. c. For shipments in response to LROs, the initial shipping activity must ensure the DLMS enhancement to identify the ship-to activity is implemented. ADC 1030 Attachment Page 12

14 (2) SDR Processing a. To facilitate reporting of discrepancies, particularly those involving discrepancies where inclusion of the IUID information is required/desirable, the SDR submission process should be integrated with the receiving process allowing receipt data to be captured once and reused. b. SDR applications providing IUID content will normally reflect the UII and/or serial number applicable to items received; however, in the case of mismatches in IUID data, it may be necessary to perpetuate the UII and/or serial number for items not received. A new data element is established in the IUID loop to distinguish between IUID-required items received and not received. d. DLA Transaction Services: (1) No capability is required to store IUID information within DLA Transaction Services databases, outside of standard DLMS transaction history reporting requirements. (2) Shipment Status (LRO): The DAAS generated DLMS 856S in response to the original shipping activity DLMS 856S (DIC AS6) will only be generated as a DLMS transaction; there is no requirement to map it back to legacy MILSTRIP DIC AS_. (3) DOD WebSDR: SDR transactions and the WebSDR database will be updated to support use of the IUID Received/Not Received Indicator. WebSDR input screens will be modified to be consistent with the DLMS 842A/W transaction content. At this time, the WebSDR database can provide visibility of a maximum of 25 entries for IUID content. SDRs submitted with more than 25 UIIs will be passed to the receiving system via transaction, but the additional values will not be retained as visible data in the WebSDR database. recipients will receive up to the maximum of 25 entries. Additional PDCs will be provided as needed to further enhance SDR procedures related to IUID based upon Service/Agency requirements and evolving policy. e. Non-DLA Logistics Management Standards Publications: IUID requirements are being addressed in the update to DOD R that will be republished as DOD M, DoD Supply Chain Materiel Management Procedures, at a future date. Components will update local procedures as necessary. ADC 1030 Attachment Page 13

15 Item # Location 1. DLMS Introductory Notes 2. Throughout DLMS Supplement Enclosure 1, DLMS Supplement Revisions DLMS 842A/W Supply Discrepancy Report (SDR), Follow-up, Correction, Cancellation, & Reconsideration Request Add ADC 1030 to DLMS Introductory Note 3: - ADC 1030, Implementation of Item Unique Identification (IUID) in the DLMS Shipment Status Supporting DoD IUID Supply Policy Procedures and Associated Supply Discrepancy Report Procedures Revise notes to reflect updated terminology as follows: From UID (Unique Identification) to IUID (Item Unique Identification). 3. 2/NCD03/2300 Revise DLMS Note as shown: DLMS Note: 1. Use as a counter to satisfy ANSI syntax. Cite numeric 1 EXCEPT where additional NCD loops are used to report multiple missing component parts or when providing unique identification of discrepant items. In these instances, increase incrementally by 1 for each missing component or uniquely identified item identified. 2. When providing item unique identification due to a mismatch (including shortage/overage) resulting from comparison between shipping notice, due-in, or documentation, and the packaging or item, follow the numeric counter by an indicator to distinguish the item(s) received from the anticipated item(s) not received. Suffix the counter by the letter R for items received and N for items not received. See ADC Use of this looping structure to describe multiple incorrect items received in association with Discrepancy Code W5, Mixed Stock, is reserved for future implementation. 4. 2/REF01/2600 Revise DLMS Note at data element level: Reason To identify DLMS changes included in the DLMS Supplement Administrative change to update terminology. Supports new usage to identify IUID content as received or not received when reporting an IUID mismatch. Clarification of usage DLMS Note: 1. For DLMS use, the following codes are authorized. 2. Use codes separately or in combination, to identify appropriate information for DoD IUID Supply Policy, including, but not limited to unique item tracking (UIT) programs or reporting under UID policy. Authorized DLMS Enhancement. See ADC ADC 1030 Enclosure 1 Page 1

16 Item # Location DLMS 842A/W Supply Discrepancy Report (SDR), Follow-up, Correction, Cancellation, & Reconsideration Request 5. 2/REF01/2600 Remove PM and associated notes: PM Part Number DLMS Note: 1. Use to identify the missing component by part number or description. 2. Use in UID loop to identify the applicable part number. This will be the original part number when associated with the UII. This is a future enhancement. (A data maintenance action was approved in version The approved code/name is "OPN - Original Part Number") 3. For PM: WebSDR field length currently = 25 and will be modified to = 32. Reason Removes requirement to identify individual parts of the UII ADC 1030 Enclosure 1 Page 2

17 Item # Location DLMS 856S Shipment Status Reason 1. DLMS Introductory Notes 2. Throughout DLMS Supplement Add ADC 1030 to DLMS Introductory Note 3: - ADC 1030, Implementation of Item Unique Identification (IUID) in the DLMS Shipment Status DoD IUID Supply Policy Procedures and Associated Supply Discrepancy Report Procedures Revise notes to reflect updated terminology as follows: From UID (Unique Identification) to IUID (Item Unique Identification). 3. 2/REF/1500 Revise DLMS Note at segment level: 1. This transaction will supports unique item identification based upon the UII or the serial number. Data elements associated with the UII may be identified separately. Use the appropriate data elements to satisfy the desired functionality. Pending full transition to DoD IUID Supply Policy using the UII, shipment status will be prepared using both the UII and corresponding serial number when available and required by DoD IUID Supply Policy. See ADC /REF01/1500 Delete Federal Note and revise DLMS Note at data element level: Federal Note: Use any code. DLMS Note: 1. Use codes separately or in combination, to identify appropriate information for DoD IUID Supply Policy, including, but not limited to unique item tracking (UIT) programs. See ADC For DLMS use, only the following codes are authorized. To identify DLMS changes included in the DLMS Supplement Administrative change to update terminology. Based on deleting the individual data elements associated with the UII Clarifies intended use to support DoD IUID Supply Policy. ADC 1030 Enclosure 1 Page 3

18 Item # Location DLMS 856S Shipment Status Reason 5. 2/REF01/1500 Remove codes PM and QW with associated notes: PM Part Number DLMS Note: 1. Use in UID loop to identify the applicable part number. This will be the original part number when associated with the UII. A data maintenance action was approved in version The approved code/name is "OPN Original Part Number". 2. DLMS enhancement; see introductory DLMS 2a. Removes requirement to identify individual parts of the UII QW New Part Number DLMS Note: 1. Use in UID loop to indicate the current part number when different from the original part number identified in the UII. 2. DLMS enhancement; see introductory DLMS 2a. 6. 2/REF01/1500 Revise DLMS Notes for codes SE and U3: SE Serial Number DLMS Note: 1. Use in UID loop to identify the serial number. See ADC DLMS enhancement; see introductory DLMS Note 2fa. Revise DLMS enhancement status to authorize for implementation by modernized systems under DLMS migration. 7. 2/REF04-01 /1500 U3 Unique Supplier Identification Number (USIN) DLMS Note: 1. Use in UID loop to identify the UII value in REF03. See ADC A data maintenance action was approved in version The approved code/name is "UII - Department of Defense Unique Item Identifier. 2. DLMS enhancement; see introductory DLMS Note 2fa. Remove code TO and associated note: TO Dealer Type Identification DLMS Note: 1. Use to provide the UII Type, e.g., VIN, UID1, UID2, etc. A data maintenance action was approved in version The approved code/name is "UTY Unique Item Identifier Type". 2. DLMS enhancement; see introductory DLMS note 2a. Removes requirement to identify individual parts of the UII ADC 1030 Enclosure 1 Page 4

19 Item # Location DLMS 856S Shipment Status Reason 8. 2/N101/2200 Revise DLMS Notes for code ST ST Ship To DLMS Note: 1. Use to identify the organization to receive the material. 2. For shipment status in response to LROs (DIC AS6), use to identify the ship to activity as directed in the LRO. Authorized DLMS enhancement. See ADC For disposal shipments use to identify the DLA Disposition Services Field Office DRMO. 2. For other than shipments to disposal, this is a DLMS enhancement; see introductory DLMS note 2a. 9. 2/N101/2200 Remove code IAT and associated note: IAT Party Executing and Verifying DLMS Note: 1. Use to indicate the Enterprise Identifier (EID) responsible for the UII. A data maintenance action was approved in version The approved code/name is "EID - Department of Defense Enterprise Identifier". 2. The value of the UID Issuing Agency Code (IAC) may be derived from the qualifier used for the Enterprise Identifier. Use only N103 qualifiers for which a corresponding IAC is noted /N103/2200 Revise DLMS Notes for codes 1, 10, and 33 1 D-U-N-S Number, Dun & Bradstreet DLMS Note: 1. Corresponds to IAC 'UN'. 2. DLMS enhancement; see introductory DLMS note 2a. 10 Department of Defense Activity Address Code (DoDAAC) DLMS Note: 1. When applicable to Enterprise Identifier, corresponds to IAC 'LD'. 1. Use as needed to identify the organizations listed to include: ship-to, bill-to, and shipping activity. 2. DLMS enhancement; see introductory DLMS note 2a. 33 Commercial and Government Entity (CAGE) DLMS Note: Corresponds to IAC 'D'. Clarify DLMS enhancement to identify the ship-to activity for LRO shipments. Removes requirement to identify individual parts of the UII Removes requirement to identify individual parts of the UII ADC 1030 Enclosure 1 Page 5

20 Item # Location DLMS 856S Shipment Status Reason 11. 2/N103/2200 Remove code 41 and associated DLMS note: 41 Telecommunications Carrier Identification Code DLMS Note: 1. Corresponds to IAC 'LB' (ANSI T1.220, Commercial Telecommunications Standards). 2. DLMS enhancement; see introductory DLMS note 2a. Removes requirement to identify individual parts of the UII ADC 1030 Enclosure 1 Page 6

21 Enclosure 2, Changes to DLM , Volume 2, Chapter 5, Status Reporting C5.1. SUPPLY AND SHIPMENT STATUS - GENERAL C Status Data. Status data is either supply status or shipment status. Sources of supply to include inventory control point (ICP)/integrated materiel manager (IMM) and shipping activities prepare status transactions using the applicable transaction described under paragraphs C and C Status documents from sources of supply will be forwarded to the Defense Automatic Addressing System (DAAS) for transmission to status recipients. Status data may be informational or require additional action by organizations based on the assigned status code. Status recipients include, but are not limited to, requisitioners, storage activities, control offices, and/or monitoring activities. For security assistance (SA) shipment status, the control office or monitoring activity receives the status from the source of supply and provides it to the appropriate country status recipient. For foreign military sales (FMS) customers, the status goes to the Military Assistance Program Address Directory (MAPAD) type address code (TAC) 4 country status recipient. For grant aid (GA) customers, the status goes to the MAPAD TAC 3 country/in-country security assistance organization (SAO) status recipient. C Supply Status. Supply status informs organizations of action taken or being taken on materiel requisitioned but not shipped, shipment consignment instructions, or disposition instructions for materiel offered under the materiel returns program (MRP). C Shipment Status. Shipment status informs organizations of the actual shipping dates (such as the date released to the carrier), the release criteria for shipments, or shipment delay notifications. It also provides for an interface with transportation and for shipment tracing by organizations under DTR R. C Item Unique Identification. Shipment Status for NSNs containing an IUID Indicator Yes (Y), indicating that DoD IUID Supply Policy is required, must contain the Unique Item Identifier (UII) and/or serial number for each item when available. See Section C for specific shipment status requirements for IUID. [Intervening text not shown] C Types of Shipment Status C Preparation of Shipment Status. Shipment status will be provided by the shipping activity or the source of supply for direct vendor delivery (contractor direct) or in response to a requisition follow-up. The consolidation and containerization point (CCP) and other locations performing consolidation subsequent to issuance of shipment status may also provide shipment status for the purpose of identifying passive radio frequency identification (prfid). 7 Under DLMS, the shipment status will include enhanced data content and support item unique identification (IUID) and intransit visibility requirements as directed under DoD policy/procedures, when available and pending full DLMS implementation/modernization. Shipment status will be provided by the DoD shipping activity, the CCP, or by the source of 7 Refer to ADC 257, DLMS Shipment Status Generated by the Consolidation and Containerization Point (CCP) ADC 1030 Enclosure 2 Page 1

22 supply 8 using the DLMS 856S. Maintenance activities (organic and commercial) will provide shipment notification to the receiving activity and other interested parties when materiel is shipped to the distribution depot, DLA Disposition Services Field Office, or other designated receiving activity per source of supply/inventory control point guidance. This may be accomplished using either the DLMS 856S Shipment Status, or the DLMS 856 Advance Shipment Notice (ASN), provided via Wide Area Work Flow-Receipt and Acceptance (WAWF- RA). 9 The DLMS Shipment Status will include asset visibility content, such as IUID, and intransit visibility requirements, such as prfid and the TCN as directed under DoD policy/procedures (DoD R). DLMS enhancements include, but are not limited to the following: C PRFID for the shipment unit/case/pallet associated at the requisition document number level. The shipment status transaction may identify a hierarchy to clarify the relationship of prfid tags within different shipment levels. C For Unique Item Tracking (UIT) purposes, the IUID UII (when available) and/or serial number will be added to the shipment status transaction. Serial number without the applicable UID UII may only be used during MILSTRIP/DLMS transition and pending implementation of IUID capability. Additional IUID information as identified in the DLMS 856S is optional. Refer to Chapter 19 for UIT guidance. C Under the DoD IUID Supply Policy, the UII and/or serial number (when available) must be added to the shipment status transaction. Serial number without the applicable UII may be used only during MILSTRIP/DLMS transition and pending implementation of IUID capability. Paragraph C contains specific procedures to identify the UII in shipment status transactions when the NSN(s) contains the IUID Indicator Y denoting that serialized item management is required. C Both the TCN and a secondary transportation number, such as the small package carrier number, when this is applicable. 10 C Identification of the carrier when other than United States Postal Service (USPS) by name and Standard Carrier Alpha Code (SCAC). 11 DoDAAC. 12 C Identification of the initial DoD shipping activity (origin) by C For OCONUS shipments made via the Defense Transportation System (DTS), GBL/CBL, parcel post, and small package carrier shipments, specific 8 Direct vendor delivery shipment status using the 856S includes shipment status prepared by the DLA-sponsored Defense Planning and Management System (DPMS) application. 9 Business rules for use of the 856 for GFM or Property Transfer, including internal DoD transfers, are evolving. Refer to the Defense Procurement and Acquisition policy for UID available at url; Specific applicability and interoperability issues to be resolved by the UID Program Office and DUSD(L&MR)SCI. 10 Refer to ADC 223, DLMS Shipment Status Enhancements: Secondary Transportation Number, Initial Shipping Activity, Carrier Identification, and POE, approved for phased and staggered implementation. 11 Ibid. 12 Ibid. ADC 1030 Enclosure 2 Page 2

23 identification of the POE or CCP. The shipment status will specify air terminal, water terminal, or CCP by applicable qualifier code in the transaction. (During MILSTRIP/DLMS transition, DAAS may substitute a generic terminal qualifier for shipment status transactions converted from legacy 80 record position transactions where the type of facility is unknown.) 13 C Under DLMS, the shipment status will perpetuate data content as applicable: project code, the special requirements code (legacy MILSTRIP required delivery date (RDD) coded entries, e.g. 999), and priority designator. 14 C The transportation priority will be included in all shipment status transactions as derived under DoD R guidance or other pertinent criteria. 15 C The shipment status may include the unit price (required for Distribution Standard System (DSS)-generated shipment status; otherwise optional). 16 C Shipment Status from the CCP or Other Locations Performing Consolidation. Shipment status will be provided by the CCP or other locations performing consolidation subsequent to the original issuance of shipment status, for the primary purpose of providing updated RFID information. This in turn supports intransit asset visibility and receipt processing. Other locations include distribution depots performing consolidation of local deliveries resulting in prfid updates. C Preparation of the CCP/Consolidation Shipment Status C The CCP/consolidation shipment status will be identified by a unique code in the transaction and will include the information as describe below. identified. original shipment status. C Ship-To-Activity. This activity will be explicitly C Lead TCN. This TCN may differ from that on the C RFID Tag Value. When applicable, the transaction will contain multiple prfid tag values using a hierarchical structure. The original prfid will be repeated when it is available. Any additional tag values available will also be provided. C Transaction Originator. This will identify the routing identifier code (RIC) of the ICP perpetuated from the original shipment status. C Consolidation Activity. This will identify the DoDAAC of the location where the consolidation occurred, e.g. CCP or depot performing local delivery manifesting. 13 Ibid. 14 Refer to ADC 242, Shipment Status DS 856S: Priority Designator (PD), Transportation Priority, Project Code, Special Requirements Code, approved for phased and staggered implementation. 15 Ibid 16 Refer to ADC 242A, Inclusion of Unit Price on DLMS Shipment Status (DS 856S). ADC 1030 Enclosure 2 Page 3